Displaying 8401 - 8410 of 9026 Results
Notice of Special Meeting of Large Firms and Proxy
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Notice of FINRA Small Firm Advisory Board Election and Ballots
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 1999-2000 renewal cycle for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration begins
2013 Annual Audit, FOCUS and Supplemental Statement of Income (SSOI) Report Filing Deadlines
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk Disclosure Requirements; Failure Appropriatelyto Approve an Account for Day
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of the Treasury recently established a toll-free number, 800-BSA-CTRS, as a hotline for reporting suspicious currency transactions. Broker-dealers can use the hotline to refer information on transactions that appear
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Consultative Committees District Committees Enforcement Actions Market Regulation Committee
Executive Summary
NASD regulatory staff believes that greater industry input into its investigatory process would be particularly valuable in responding to emerging regulatory issues, particularly given the